| Daniel Lee Weidenhammer | Key Investment Services LLC BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 16, 2018 | Apr 10, 2018 |
| Patrick Stephen Mullen | Key Investment Services LLC BD affiliated | Pnc Wealth Management BD affiliated | Affiliated broker-dealer or bank to another | Feb 5, 2018 | Feb 15, 2018 |
| Justin Roger Simmers | Key Investment Services LLC BD affiliated | Osaic Institutions, Inc. other | Other | Jan 30, 2018 | Jan 31, 2018 |
| William R Deemer | Key Investment Services LLC BD affiliated | Citizens Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 5, 2018 | Jan 23, 2018 |
| Janet Lynn Hawkins | Key Investment Services LLC BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 14, 2017 | Dec 19, 2017 |
| Joseph Thomas Murphy | Key Investment Services LLC BD affiliated | Osaic Institutions, Inc. other | Other | Dec 11, 2017 | Dec 4, 2017 |
| Raman Grover | Key Investment Services LLC BD affiliated | Osaic Institutions, Inc. other | Other | Dec 11, 2017 | Dec 4, 2017 |
| Anthony Joseph Spena | Key Investment Services LLC BD affiliated | Allstate Financial Advisors, LLC no RAUM | Other | Dec 6, 2017 | Jan 15, 2018 (40 d) |
| Coleman Andrew Webb | Key Investment Services LLC BD affiliated | Raymond James Financial Services Advisors, Inc other | Other | Nov 28, 2017 | Nov 22, 2017 |
| Aaron Bradley Curry | Key Investment Services LLC other | Huntington Financial Advisors other | Other | Oct 4, 2017 | Dec 19, 2017 (76 d) |
| Brandon A Perkins | Key Investment Services LLC other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Sep 19, 2017 | Sep 18, 2017 |
| Haris Hot | Key Investment Services LLC other | Equitable Advisors, LLC national BD | Other | Sep 8, 2017 | Dec 19, 2017 (102 d) |
| Kenneth Michael Sullivan | Key Investment Services LLC other | Blackridge Asset Management, LLC other | Other | Sep 5, 2017 | Oct 19, 2017 (44 d) |
| Patrick Benjamin Flood | Key Investment Services LLC other | Bigelow Investment Advisors, LLC other | Other | Aug 25, 2017 | Sep 11, 2017 |
| Dennis John Keyser | Key Investment Services LLC other | M&T Securities, Inc. unclassified | Other | Aug 14, 2017 | Sep 6, 2017 |
| Greg Emmack | Key Investment Services LLC other | Cetera Investment Advisers LLC other | Other | Jul 28, 2017 | Jul 31, 2017 |
| John R Donnelly | Key Investment Services LLC other | Pnc Wealth Management other | Other | Jul 21, 2017 | Jul 27, 2017 |
| Chad Evan Polin | Key Investment Services LLC other | Bb&T Investment Services, Inc. other | Other | Jun 19, 2017 | Jun 5, 2017 |
| Richard James Walker | Key Investment Services LLC other | Bb&T Investment Services, Inc. other | Other | Jun 19, 2017 | Jun 5, 2017 |
| Edward W Lapinski | Key Investment Services LLC other | Santander Securities other | Other | Jun 5, 2017 | Jun 15, 2017 |
| Neal Governor | Key Investment Services LLC other | Wells Fargo Advisors wirehouse | Other | Apr 19, 2017 | Apr 18, 2017 |
| Rebekah Suzanne Kiger | Key Investment Services LLC other | Citizens Securities, Inc. other | Other | Apr 12, 2017 | Apr 17, 2017 |
| Tricia L Gordon | Key Investment Services LLC other | Osaic Institutions, Inc. other | Other | Apr 5, 2017 | Apr 6, 2017 |
| Glenn Joseph Eckstut | Key Investment Services LLC other | Innova Wealth Partners, LLC other | Other | Mar 17, 2017 | Mar 21, 2017 |
| Lori Cheryl Silverstein | Key Investment Services LLC other | Edelman Financial Engines other | Other | Mar 7, 2017 | Jun 8, 2017 (93 d) |
| Sean Patrick Mest | Key Investment Services LLC other | Park Avenue Securities LLC other | Other | Mar 3, 2017 | Mar 21, 2017 |
| William Francis Walthouse | Key Investment Services LLC other | St. Germain Investment Management other | Other | Feb 17, 2017 | Feb 27, 2017 |
| Kevin Barry Manghan | Key Investment Services LLC other | Osaic Institutions, Inc. other | Other | Jan 25, 2017 | Jan 20, 2017 |
| Frank A Deshantz | Key Investment Services LLC other | Citizens Securities, Inc. other | Other | Jan 9, 2017 | Jan 9, 2017 |
| William Eric Kern | Key Investment Services LLC other | Pruco Securities, LLC other | Other | Jan 3, 2017 | Jan 6, 2017 |
| Daniel Jerome Kruper | Key Investment Services LLC other | Citizens Securities, Inc. other | Other | Jan 3, 2017 | Jan 3, 2017 |
| John Randolph Mackenzie | Key Investment Services LLC other | LPL Financial LLC other | Other | Dec 31, 2016 | Feb 24, 2017 (55 d) |
| Christopher Alan Brennen | Key Investment Services LLC other | Wells Fargo Advisors wirehouse | Other | Dec 31, 2016 | Jun 26, 2017 (177 d) |
| Louis Christopher Goeckel | Key Investment Services LLC other | Sagepoint Financial, Inc. BD affiliated | Other | Dec 31, 2016 | Sep 7, 2018 (615 d) |
| Anne Marie Pasker | Key Investment Services LLC other | Raymond James & Associates, Inc. national BD | Other | Dec 31, 2016 | Jun 14, 2021 (1626 d) |
| Anthony J. Alleca | Key Investment Services LLC other | Edward Jones national BD | Other | Dec 31, 2016 | Sep 15, 2017 (258 d) |
| Leonard F Lye | Key Investment Services LLC other | Santander Securities BD affiliated | Other | Dec 31, 2016 | Nov 30, 2018 (699 d) |
| Robert S Walker | Key Investment Services LLC other | LPL Financial LLC BD affiliated | Other | Dec 31, 2016 | Aug 3, 2021 (1676 d) |
| Ruth Alice Maresca | Key Investment Services LLC other | Cuna Brokerage Services, Inc. BD affiliated | Other | Dec 31, 2016 | Jul 31, 2019 (942 d) |
| Anthony R Cirocco | Key Investment Services LLC other | Raymond James Financial Services Advisors, Inc BD affiliated | Other | Dec 31, 2016 | Mar 5, 2021 (1525 d) |
| Philip Frank Ucci | Key Investment Services LLC other | Edward Jones national BD | Other | Dec 31, 2016 | Feb 24, 2017 (55 d) |
| Steffen C Hellert | Key Investment Services LLC other | Wells Fargo Advisors wirehouse | Other | Dec 31, 2016 | Mar 8, 2021 (1528 d) |
| James Patrick Chase | Key Investment Services LLC other | Wells Fargo Advisors wirehouse | Other | Dec 31, 2016 | Jun 26, 2017 (177 d) |
| David Alex Mastro | Key Investment Services LLC other | Wells Fargo Advisors wirehouse | Other | Dec 31, 2016 | Dec 12, 2017 (346 d) |
| Shawna L Sklarsky | Key Investment Services LLC other | Citizens Securities, Inc. other | Other | Dec 31, 2016 | Jan 20, 2017 |
| Anne M Faunce | Key Investment Services LLC other | LPL Financial LLC independent RIA | Other | Dec 31, 2016 | Dec 5, 2017 (339 d) |
| Callie J. Jacobs | Key Investment Services LLC other | Huntington Financial Advisors other | Other | Dec 22, 2016 | Jan 12, 2017 |
| Dustin Lee Baker | Key Investment Services LLC other | Park Avenue Securities LLC other | Other | Dec 19, 2016 | Jan 5, 2017 |
| Michael Allen Curley | Key Investment Services LLC other | U.S. Bancorp Investments, Inc. other | Other | Dec 16, 2016 | Dec 20, 2016 |
| Ryan Bailey | Key Investment Services LLC other | Pnc Wealth Management other | Other | Dec 12, 2016 | Jan 12, 2017 (31 d) |
| William Naldo Rodriguez | Key Investment Services LLC other | Briggs Wealth Management, Inc. independent RIA | Other | Dec 7, 2016 | Sep 5, 2019 (1002 d) |
| Michael Lin | Key Investment Services LLC other | Wells Fargo Advisors wirehouse | Other | Dec 6, 2016 | Sep 29, 2017 (297 d) |
| Cynthia Lee Montgomery-Adams | Key Investment Services LLC other | Raymond James Financial Services Advisors, Inc other | Other | Nov 15, 2016 | Jan 18, 2017 (64 d) |
| Sibyl M Samuel | Key Investment Services LLC other | LPL Financial LLC other | Other | Nov 9, 2016 | Nov 15, 2016 |
| Nicole Teluk Smykowski | Key Investment Services LLC other | Hsbc Securities (USA) Inc. other | Other | Nov 4, 2016 | Jan 13, 2017 (70 d) |
| Bryce Derek Holley | Key Investment Services LLC other | LPL Financial LLC other | Other | Nov 4, 2016 | Nov 7, 2016 |
| David Watters Graham | Key Investment Services LLC other | LPL Financial LLC other | Other | Nov 1, 2016 | Nov 2, 2016 |
| Travis Karabin Boyer | Key Investment Services LLC other | Wealthcare Advisory Partners LLC independent RIA | Other | Oct 19, 2016 | Feb 7, 2018 (476 d) |
| Cheryl Smith | Key Investment Services LLC other | LPL Financial LLC other | Other | Oct 19, 2016 | Oct 12, 2016 |
| Gabriel Hall | Key Investment Services LLC other | Osaic Institutions, Inc. other | Other | Oct 19, 2016 | Oct 20, 2016 |